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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2018-03-07 |
| TX | RA | APPROVED_RES | 2018-01-23 |
| OK | RA | APPROVED | 2017-09-08 |
Branch Locations
2200 S Utica Place Suite 400, Tulsa, OK 74114 • United States
Owasso, OK • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Company | Tulsa | OK | 11/2000 | Present |
| Mml Investors Services | Tulsa | OK | 05/2001 | Present |
(1) NAME: THOMAS E SHAUGHNESSY INV REL: Y ADD: 2200 S UTICA PLACE, SUITE 400, TULSA, OK 74114 NATURE: INDIVIDUAL LIFE POSITION: SALES/AGENT START DATE: 2007 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 2 DESCRIBE DUTIES: INDIVIDUAL LIFE (2) NAME: ORU ALUMNI ASSOCIATION INV REL: N ADD: 7777 S LEWIS AVE, TULSA, OK 74171 NATURE: ALUMNI ASSOCIATION POSITION: MEMBER START DATE: 11/01/2018 No. HR/MO: 1. No. HR/MO DURING SEC TRADING: 1. DESCRIBE DUTIES: SUPPORT ALUMNI, ALUMNI ENGAGEMENT. (3) NAME: ORU GOLDEN EAGLE CLUB NV REL: N ADD: 7777 S LEWIS AVE, TULSA, OK 74171 NATURE: ATHLETIC DEPARTMENT SUPPORT POSITION: PRESIDENT, MEMBER START DATE: 07/01/2019 No. HR/MO: 2. No. HR/MO DURING SEC TRADING: 2. DESCRIBE DUTIES: SUPPORT THE ATHLETIC DEPARTMENT, ATHLETES AND SUPPORTERS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-21 |
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